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KATHLEEN ELEANOR HEGENBART
KATHLEEN HEGENBART
CRD#: 1198088
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
PBIG - BOSTON PRIVATE WEALTH CTR
BOSTON, MA 02110
Registration History
1985199019952000200520102015202020252 FIRMS2010 - Present (14 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2010 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1984 - 1993 (9 years)
Disclosure(s)
View By:
3/1/1994
Customer Dispute
Settled
1/15/1994
Customer Dispute
Settled
12/5/1990
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
California 2/5/2010

B
New Jersey 10/22/2010

B
Colorado 2/5/2010

B
New York 2/5/2010

B
Connecticut 2/5/2010

B
North Carolina 1/26/2011

B
Florida 2/5/2010

B
Ohio 6/27/2013

IA
Florida 1/2/2025

B
Pennsylvania 2/5/2010

B
Illinois 2/5/2010

B
Puerto Rico 7/3/2020

B
Maine 2/5/2010

B
Rhode Island 2/5/2010

B
Maryland 10/13/2015

IA
Texas 3/17/2010

B
Massachusetts 2/5/2010

B
Vermont 2/5/2010

B
Michigan 8/19/2014

B
Virginia 10/27/2021

B
Missouri 2/5/2010

B
Washington 8/28/2012

B
New Hampshire 2/5/2010

B
West Virginia 3/1/2012

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST PBIG - BOSTON PRIVATE WEALTH CTR, BOSTON, MA 02110
355 ALHAMBRA CIR PBIG-FLORIDA PWM CG, CORAL GABLES, FL 33134
Registered with this firm since 3/17/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST PBIG - BOSTON PRIVATE WEALTH CTR, BOSTON, MA 02110
355 ALHAMBRA CIR PBIG-FLORIDA PWM CG, CORAL GABLES, FL 33134
Registered with this firm since 2/5/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/01/2009 - 03/01/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) BOSTON, MA
B
07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOSTON, MA
B
01/11/1984 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.